Director managing utility risks and regulatory engagement at Walmart. Leading initiatives for affordable, reliable, and clean energy systems through strategic leadership and collaborative efforts.
About the role
- Director of Compliance focused on executing compliance processes and initiatives for a registered investment adviser. Collaborating with leadership to streamline operations and improve workflows.
Responsibilities
- Lead execution of core compliance processes and initiatives within assigned areas, ensuring efficiency, consistency, and scalability across the organization.
- Maintain hands-on involvement in day-to-day compliance activities, providing practical guidance, issue resolution, and operational support as needed.
- Partner closely with the Chief Compliance Officer and compliance leadership to streamline policies, procedures, and workflows, driving continuous process improvement.
- Champion initiatives that reduce manual effort through enhanced documentation, technology solutions, and the adoption of digital compliance tools.
- Support the implementation and adoption of new systems, tools, and workflows that strengthen a modern, effective, and scalable compliance function.
- Manage and develop compliance associates through clear direction, ongoing feedback, and coaching, fostering a highly engaged and capable team.
- Serve as a trusted compliance resource to internal stakeholders by translating regulatory requirements into clear, actionable, and business-practical guidance.
- Provide compliance oversight for internal investment strategies, including review of processes, disclosures, controls, and regulatory filings to ensure accuracy and timeliness.
Requirements
- Bachelor’s degree and 8+ years of compliance experience in a large SEC-registered investment adviser or similar wealth management firm
- Strong working knowledge of investment advisory regulations and compliance oversight
- Experience improving compliance processes and leveraging technology to drive efficiency
- Law degree (JD) and/or relevant compliance certifications (preferred)
Benefits
- Health insurance
- Professional development opportunities
- Flexible working arrangements
- Work-life balance
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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